Free PDF 2026 NISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification Accurate Exam Guide Materials

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Investor Grievance Redressal- Process of investor grievances redressal
  • 1. Regulatory requirements
  • 2. Procedures for handling complaints
Risk Management- Risk management in a securities broking firm
  • 1. Compliance and control measures
  • 2. Identifying and mitigating risks
Securities Broking Operations- Front Office, Middle Office and Back Office functions in a Securities Broking Firm
  • 1. Settlement processing
  • 2. Risk management
  • 3. Trade execution
Indian Securities Market- Overview of the Indian securities market
  • 1. Different products traded
  • 2. Various market participants and their roles
Regulatory Framework- Role of the Securities and Exchange Board of India (SEBI)
  • 1. Investor protection
  • 2. Regulatory oversight
Trade Life Cycle- Steps and participants involved in the trade life cycle
  • 1. Clearing and settlement process
  • 2. Role of the back office in a securities broking firm

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q326-Q331):

NEW QUESTION # 326
What are the specific trading hours for the continuous trading session under the beta version of the T+0 rolling settlement cycle?

Answer: B

Explanation:
The Trade Timings for the T+0 rolling settlement cycle are defined as one continuous trading session from 09:15 AM to 1:30 PM.


NEW QUESTION # 327
Which of the following guidelines are mandated to enable smooth settlement processes and help Clearing Corporations meet obligations in case of holidays? (Select all that apply)

Answer: B,D,E

Explanation:
The guidelines include: 1. 'The CCs shall clear and settle the trades on a sequential basis'; 2. 'pay-in and the pay-out of the first settlement shall be completed before the commencement... of the subsequent settlement(s)'; 3. 'depositories shall... facilitate the inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.' Option D is incorrect as settlements are completed on the same day. Option E is incorrect as the pay-out is specifically made available for the subsequent pay-in.


NEW QUESTION # 328
The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' is specified under which schedule of the Foreign Exchange Management (Non-debt Instruments) Rules, 2019?

Answer: A

Explanation:
The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' (the Direct Listing Scheme) is specified in Schedule Xl of Foreign Exchange Management (Non-debt Instruments) Rules, 2019. This scheme provides the framework for issuing and listing equity shares of public Indian companies on international exchanges.


NEW QUESTION # 329
Under the SEBI guidelines regarding the monitoring of unauthenticated news by market intermediaries, what is the mandatory protocol for an employee who receives market-related news via their personal mail or blog?

Answer: D

Explanation:
The guidelines state: 'Employees should be directed that any market related news received by them either in their official mail/personal mail/blog or in any other manner, should be forwarded only after the same has been seen and approved by the Compliance Officer of the concerned Intermediaries.'


NEW QUESTION # 330
For a client availing the Margin Trading Facility (MTF) to purchase Group 1 equity shares that are NOT available for trading in the F&O segment, what is the applicable initial margin requirement that the stock broker must collect?

Answer: B

Explanation:
For Group 1 stocks other than F&O stocks and Units of Equity ETF, the applicable margin for Margin Trading Facility is VaR + 5 times of applicable Extreme Loss Margin. For Group 1 stocks available in F&O, it is VaR + 3 times ELM.


NEW QUESTION # 331
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